AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Claimant/Counter-Respondent Stein, Shore Securities, Inc. vs. Respondents/Counter-Claimants American Investment Services Inc.; Russell Wolter; Scott Garland: Scott Sprandel; Daniel Reyer; John Collins; William Ireland; and R. Scott Pozen NASD Arbitration No. 96-00249 REPRESENTATION OF PARTIES For Claimant/Counter-Respondent: Stein, S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mearl R. Guthrie 96-00242 Name of Respondents Michael Sclafani Howard R. Knapp Lew Lieberbaum & Co. REPRESENTATION Claimant Mearl R. Guthrie ("claimant") appeared pro se. Claimant dismissed with prejudice all claims against respondent Michael Sclafani ("Sclafani") prior to the hearing. Therefore, no representative appea

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Plafmantq A. M. Gregory Jr. and A. M. Gregory, HI Name of the r- 00-05345 Hearing Site- Charlotte, North Carolina Wachovia Securities, Inc., Samuel D. Turner, Sharon C. Bryant, and National Financial Services Corporation PPPRFSFMTATTON OF PARTIES Claimants A. M. Gregory Jr. and A. M. Gregory, HI, hereinafter collectively referred to as "Claima

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Bernard and Estelle Oliner 96-00229 Name of Respondent^ Kidder Peabody, Inc. Robert Chaiklin REPRESENTATION For Claimants Bernard and Estelle Oliner ("the Oliners"): David A. Coven, Esq. of the law office of David A. Coven, P. A., Ft, Lauderdale, FL. For Respondents Kidder Peabody, Inc. ("Kidder") and Robert Chaiklin ("Chaiklin"): George 6.

BEFORE THE NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between: AA Lighting and Electrical, Inc. Claimant, v. The Trading Desk, Inc. and Joseph R. Earle Respondents No. 96-00224 ARBITRATION AWARD The Parties The Claimant in this matter is AA Lighting and Electrical, Inc. (hereinafter referred to as "Claimant"), a corporation with its principal place of business located in San Jose, California. All of t

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Priscilla Welch and David Welch and 96-00213 Name of Respondent Stifel Nicolaus & Co., Inc. Arnold Hart REPRESENTATION OF PARTIES Priscilla Welch and David Welch ("Claimants") were represented by Paul G. Bursiek, Esq., Pendleton, Friedberg, Wilson, Hennessey & Meyer, P.C., Denver, Colorado. Stifel Nicolaus & Co., Inc. ("Resp

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Howard Lorch and Case Number 96-00207 Name of Respondent Clay Border REPRESENTATION OF PARTIES Howard Lorch ("Claimant") was represented by Timothy McDaniel, Esq. of McDaniel & Allen located in Houston, TX. Clay Border ("Respondent") was represented by Jack D. Ballard, Esq. of Andrews & Kurth located in Houston, TX.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Ameritrade, Inc. Case No. 00-05341 Name of Respondent Shawn Majd Hearing Site: Washington, DC REPRESENTATION OF PARTIES Claimant, Ameritrade, Inc. ("Claimant"): James J. Vihstandt, Esq., Ameritrade, Inc., Bellevue, NE. Respondent, Shawn Madj ("Respondent") did not appear at the hearing. CASE INFORMATION Statement of Claim filed on: Novem

t N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donna B. Vaughan 96-00200 Name of Respondents Dean Witter Reynolds Inc. Louis Bouchard CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 16, 1996, Claimant Donna B. Vaughan ("Claimant"), through her representative, John P. Hannan, CLU, CHFC, CFP, of the Young Agency, In

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants Michael A. and Patricia J. Russoniello 96-00187 Name of Respondents Cadaret Grant & Co. f/k/a BNL Securities Luther Engler REPRESENTATION Claimants Michael and Patricia Russoniello ("Claimants") were represented by Thomas J. Romans, Esq., Hackensack, NJ. Respondents Luther Engler ("Engler"), BNL Secur